Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Harry Dines & Esther Dines TRS FBO and Harry Dines Revocable Living Trust Case Number: 10-01674 vs. Respondents TD Ameritrade, Inc. and Warren John Castor Hearing Site: Detroit, Michigan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Harry Dines & Esther Dines TRS FBO and Harry Di

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01994 Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC vs. Respondent Hearing Site: New York, New York Michael Zenick Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC, hereinafter referred to as "Claimant": Kenn

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02556 Jose Zardoya (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant Jose Zardoya, hereinafter referred to as "Claimant" appeared pro se, Towaco, NJ. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 29, 2011 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02260 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Ted Shin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William P. Wallenstein, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 6, 2011 CASE SUMMARY: Claimant asserted the following cause of action: b

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11 -02100 Kelly Martinsen vs. Respondent Hearing Site: New York, New York E*Trade Securities LLC Nature of the Dispute: Customer vs. Member Tiie case preceded under tfie Optional All Public Panel rule/Majority Public Panel. REPRESENTATION OF PARTIES Claimant Kelly Martinsen, hereinafter referred to as "Claimant": Lars K. Soreide, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02027 Jyotsna Varma (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Customer v. Member. DATE FILED: May 18, 2011 CASE SUMMARY: Claimant asserted

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: White Pacific Securities, inc. (Claimant) vs. Wing Lim a/k/a Kent Lam (Respondent) Case Number: 11-01177 SITUS: New York, New York NATURE OF DISPUTE: Member vs. Associated Person REPRESENTATION OF PARTIES: Claimant White Pacific Securities, Inc., hereinafter referred to as "Claimant": Christopher Mader, Esq., Baldwin Law Group, Menio Park, CA. Respondent Wing Lim

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-05206 William P. Johnson, IRA Priscilla D. Johnson, IRA William P. Johnson and Priscilla D. Johnson vs. Respondent Hearing Site: Boston, Massachusetts RBC Capital Markets Corporation Nature of the Dispute: Customers vs. Member The case proceeded under the Optional All Public Panel rule/Public Panel REPRESENTATION OF PARTIES Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Lawrence J. O'Brien Revocable Trust Lawrence J. O'Brien, Jr. Case Number: 10-03212 vs. Respondent Morgan Stanley Smith Barney Hearing Site: Boca Raton, Florida Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Lawrence J. O'Brien Revocable Trust ("O'Brien Trust"), and Lawrence J. O'Brien, Jr. ("O'Brien"), he

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-02549 Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Respondent Hearing Site: Los Angeles, California Ronald Angiin Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Karen P. Gaster, Esq., Rubin, Fortu